Personnel SFC Licences and HKMA Registrations (ID 32932229)

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2026-08-14	-
	Rep	Dealing in securities	2026-08-14	-
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2026-08-14	-
	Rep	Dealing in securities	2026-08-14	-
UBS SECURITIES ASIA LIMITED	Rep	Dealing in futures contracts	2025-02-03	2025-12-31
	Rep	Dealing in securities	2025-02-03	2025-12-31
UBS SECURITIES HONG KONG LIMITED	Rep	Dealing in futures contracts	2025-02-03	2025-12-31
	Rep	Dealing in securities	2025-02-03	2025-12-31

HKMA registrations

HKMA relevant-individual registrations, shown separately from SFC licences. EO means executive officer.

Current registrations only

No HKMA registrations in the collected records.